147 Regulatory Compliance jobs in the United Arab Emirates

Responsibilities:

The Client Compliance Services department is responsible to provide Outsourced Compliance Officer and Money Laundering Reporting Officer (MLRO) services. The department also assists client companies of IQEQ DIFC in structuring matters and in fulfilling clients compliance responsibilities.

In addition, the Manager Client Compliance shall have supervisory responsibilities for the Client Compliance Unit team, monitor their daily tasks, and coach them.

Tasks:

• Contribute in designing and implementing the AML/CFT framework for specific clients;
• Act as MLRO/Compliance Officer for IQEQ DIFC's client companies;
• Attend board meetings to present MLRO/Compliance reports for IQEQ DIFC's client companies on at least an annual basis; receive, analyze, and report Suspicious Transaction Reports as appropriate;
• Perform client file review or special investigations as required;
• Liaise with DFSA, FSRA, and other regulatory bodies to assist clients in procuring regulatory approvals and related matters;
• Provide AML/CFT training to directors and staff of client companies as appropriate;
• Conduct AML/CFT risk assessments of all products, technology, and business practices of client companies as appropriate;
• Analyze and disseminate the latest AML/CFT-related regulatory information to clients;
• Provide basic advice and guidance to Onboarding Unit and Operational Compliance on specific compliance queries;
• Provide Management Information to the Operational Risk Committee, GRACC, and Board as required;
• Supervise and assess the Client Compliance Unit team's work and assignments, assist in building capabilities, and allocate resources within the Client Compliance Unit team;
• Conduct staff appraisals and recommend career development plans to the Senior Executive Officer;
• Ensure protection of information assets of IQEQ DIFC and abide by the ISMS in place at IQEQ DIFC.

Qualifications:

Education / Professional Qualifications:

• A degree from a reputable university, preferably in the field of law, finance, or financial services, or directly related to compliance functions.

Background Experience:

• At least 8-10 years of experience in the financial services sector, with preference given to experience in compliance.

Technical:

• Experience as DFSA and/or FSRA approved Compliance Officer and Money Laundering Reporting Officer.

Additional Information:

At IQEQ, we want you to reach your full potential. We offer an inclusive and diverse environment to support your career aspirations, with a strong emphasis on continuous learning and a holistic approach to your professional and personal development. We also offer opportunities across our service lines and our international network of offices.

Remote Work:

No

Employment Type:

Full-time

Job Title: Regulatory Reporting Lead

We are seeking a highly skilled Accounting and Tax professional to join our team. As a key member of our organization, you will play a vital role in ensuring compliance with financial regulations and providing expert advice on complex accounting and taxation matters.

Your primary responsibility will be to review financial models prepared by clients to ensure compliance with relevant laws and regulations. This will involve working closely with expert financial modellers to ensure that they understand and accurately apply the correct accounting and taxation principles to calculations.

You will also be responsible for providing detailed and relevant accounting and taxation advice on calculations and the appropriate application of regulations and principles across a wide variety of financial models used to represent commercial transactions.

• A recognized accounting qualification with broad work experience and commercial awareness
• A recognized tax qualification in KSA taxation
• An effective communicator who can explain ideas and concepts to non-accounting or non-tax qualified colleagues and clients
• A team player able to work under pressure
• Experience of providing financial advice to clients in either a corporate or public body context
• A self-motivated and confident individual able to work independently

• A competitive base salary
• Flexible working arrangements, including a mixture of office-based, working from home, and working on client sites
• Significant opportunities for professional growth and development as we expand
• Access to cutting-edge financial modelling tools and resources
• A collaborative and supportive team culture

Dubai, United Arab Emirates | Posted on 19/03/2025

At Deriv, you'll be at the forefront of our compliance efforts, navigating the complex and ever-evolving landscape of financial regulations. As a Senior Regulatory Compliance Executive with Arabic language skills, you'll tackle the challenge of ensuring our operations remain compliant across multiple jurisdictions while supporting our innovative product development. Your expertise in Arabic-speaking markets will be instrumental in our expansion efforts, safeguarding both our customers and our business while upholding our reputation for regulatory excellence.

On a given day, you will:

• Monitor and analyse regulatory developments at international, EU, and local levels where Deriv operates or plans to expand.
• Interpret new regulatory requirements with a particular focus on investment services regulation surrounding CFDs.
• Create, maintain, and implement compliance-related policies that safeguard our operations.
• Conduct internal compliance reviews and perform legislative gap analysis to identify potential areas of risk.
• Execute compliance monitoring programmes to ensure timely adherence to regulatory standards.
• Support the implementation of internal controls and facilitate both internal and external audits.
• Prepare comprehensive management presentations on regulatory developments and potential challenges.
• Submit critical regulatory reports related to CRS, FATCA, MiFIR, and EMIR.
• Collaborate with teams to review and assess compliance business risk assessments.
• Communicate complex regulatory requirements in both Arabic and English to various stakeholders.
• Leverage AI-driven tools to enhance compliance monitoring, automate risk assessments, and improve regulatory reporting efficiency.

You may enjoy working with us if you:

• Thrive in a dynamic environment where regulatory challenges evolve constantly.
• Enjoy translating complex regulatory language into practical business solutions.
• Find satisfaction in protecting a business while enabling its growth.
• Appreciate working in a multicultural team with global impact.
• Value being at the intersection of innovation and compliance in the fintech space.
• Take pride in your attention to detail and analytical thinking.
• Are passionate about developing your expertise in international financial regulations.

We would love to work with you if you:

• Hold an undergraduate degree in legal, compliance, or a related field.
• Bring 5+ years of experience in regulatory compliance, audit, or risk functions.
• Possess excellent spoken and written Arabic and English communication skills.
• Have knowledge of investment services regulations.
• Demonstrate strong interpersonal skills and can work effectively with all levels of personnel.
• Excel at managing multiple projects with tight deadlines.
• Bring a high degree of integrity and maturity to your professional interactions.
• Have experience in a fintech organisation (beneficial).
• Have worked on European regulatory compliance projects (beneficial).
• Have experience or enthusiasm for embracing AI technologies.

We pay competitive salaries based on your skills, qualifications, experience and market rates. Additionally, you'll be eligible for an annual bonus based on individual and company performance.

When you join Deriv, you will be supported in growing your career in our company. You can expect to have a personalised Learning and Development programme as well as the costs covered for relevant professional development and education related to advancing your career at Deriv.

You'll be based at our modern office in Dubai's prestigious Business Bay, a key centre for Deriv's Middle Eastern operations. Our Dubai office is home to over 200 talented professionals from diverse nationalities, creating a truly global workplace. You'll thrive in an expat-friendly environment that celebrates diversity and encourages cross-cultural collaboration, with regular knowledge-sharing sessions and team events.

Ready to shape the regulatory landscape of online trading? If you're passionate about navigating complex compliance challenges while enabling business growth in a global fintech environment, we want to hear from you. Your expertise in Arabic and regulatory compliance could help drive Deriv's continued success and expansion across new markets.

Deriv is an equal opportunity employer committed to diversity and inclusion. We take pride in our Great Place to Work and IIP Platinum certifications, which reflect our commitment to creating an exceptional work environment. Join us and help build the future of online trading while working alongside top talent from over 80 nationalities.

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If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.

The Regulatory Compliance function is a Second line of defence (LOD) function that includes "Risk Stewards" who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as "the First LOD"). These Risk Stewards are responsible for reviewing and challenging the activities of the First LOD to ensure that, as "Risk Owners", they effectively manage the regulatory compliance risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).

Role:
In this role, you will report to the Regional Head of Financial Crime and Regulatory Compliance IWPB MENAT and will be responsible for ensuring that Regulatory Compliance in iWPB MENAT is effective in identifying, managing, and mitigating Regulatory Compliance risks, and that timely advice is provided to the iWPB business.

The role requires strong partnership with the iWPB business and country regulatory compliance risk stewards to drive and accelerate the execution of Regulatory Compliance programmes that directly impact business performance. This role is accountable for implementing policies into the iWPB business and will require close collaboration with various Risk and iWPB business functions.

Key Accountabilities and Responsibilities:

• Provide advisory services to iWPB to ensure a clear understanding of Regulatory compliance risk exposure regarding clients, transactions, and products. Assist senior management in decision-making and meeting strategic objectives.
• Strengthen iWPB’s knowledge of risk and compliance management by incorporating these considerations in all activities to protect and enable business activities through robust risk management.
• Support iWPB Compliance Advisory teams in MENAT in discharging their responsibilities.
• Discharge responsibilities in accordance with the Group's management structure, governance, and Risk Management Framework.
• Promote fair conduct standards to ensure HSBC delivers fair outcomes for customers, aligns remuneration structures with appropriate conduct, and maintains orderly, transparent financial markets.
• Foster a strong risk, control, and compliance culture.
• Champion a culture that prioritizes fair treatment of all customers, including vulnerable or changing needs, supported by governance, processes, and systems.
• Leadership & Teamwork: Promote a ‘speak-up’ culture, work collaboratively with compliance professionals and senior executives, and contribute to a diverse and inclusive work environment.
• Implement the Group’s performance management and reward strategies aligned with responsible risk and compliance management.
• Operational Effectiveness and Control: Ensure policies and procedures are updated for regulatory changes, resolve issues promptly, escalate concerns appropriately, and maintain HSBC control standards and compliance policies.
• Maintain awareness of operational risks, identify, assess, mitigate, and report them.
• Functional Knowledge: Stay updated on industry developments, understand the iWPB business and regulatory environment, and adapt activities based on risks, business needs, and strategy.

Some careers prize diversity more than others.
If you’re looking for a role where you can continue to make an impression, take the next step at HSBC where your contributions will always be valued.

The Regulatory Compliance function is a Second line of defence (LOD) function that includes "Risk Stewards" who are independent of the commercial risk-taking activities undertaken by the Group’s businesses (also referred to as "the First LOD"). These Risk Stewards are responsible for reviewing and challenging the activities of the First LOD to ensure that, as "Risk Owners", they effectively manage the regulatory compliance risks inherent in, or arising from, the conduct of their activities and for which they are responsible. The Regulatory Compliance function operates in accordance with HSBC Group’s Risk Management Framework (RMF).

Role:
In this role, you will report to the Regional Head of Financial Crime and Regulatory Compliance IWPB MENAT and will be responsible for ensuring that Regulatory Compliance in iWPB MENAT is effective in identifying, managing, and mitigating Regulatory Compliance risks, and that timely advice is provided to the iWPB business.

The role requires strong partnership with the iWPB business and country regulatory compliance risk stewards to drive and accelerate the execution of Regulatory Compliance programmes that directly impact business performance. This role is accountable for implementing policies into the iWPB business and will require close collaboration with various Risk and iWPB business functions.

Key Accountabilities and Responsibilities:

• Provide advisory services to iWPB to ensure a clear understanding of Regulatory compliance risk exposure regarding clients, transactions, and products. Assist senior management in decision-making and meeting strategic objectives.
• Strengthen iWPB’s knowledge of risk and compliance management by incorporating these considerations in all activities to protect and enable business activities through robust risk management.
• Support iWPB Compliance Advisory teams in MENAT in discharging their responsibilities.
• Discharge responsibilities in accordance with the Group's management structure, governance, and Risk Management Framework.
• Promote fair conduct standards to ensure HSBC delivers fair outcomes for customers, aligns remuneration structures with appropriate conduct, and maintains orderly, transparent financial markets.
• Foster a strong risk, control, and compliance culture.
• Champion a culture that prioritizes fair treatment of all customers, including vulnerable or changing needs, supported by governance, processes, and systems.
• Leadership & Teamwork: Promote a ‘speak-up’ culture, work collaboratively with compliance professionals and senior executives, and contribute to a diverse and inclusive work environment.
• Implement the Group’s performance management and reward strategies aligned with responsible risk and compliance management.
• Operational Effectiveness and Control: Ensure policies and procedures are updated for regulatory changes, resolve issues promptly, escalate concerns appropriately, and maintain HSBC control standards and compliance policies.
• Maintain awareness of operational risks, identify, assess, mitigate, and report them.
• Functional Knowledge: Stay updated on industry developments, understand the iWPB business and regulatory environment, and adapt activities based on risks, business needs, and strategy.

Regional Senior Manager, Regulatory Compliance Advisory - RC

Regional Senior Manager, Regulatory Compliance (RC)

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If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be.

Role Purpose:

To provide pro-active Compliance support and challenge on all relevant aspects of CMA (Capital Markets Advisory), Banking, HIF(HSBC Infrastructure Finance)/Sustainability, along with a strong understanding of the transactional banking products such as GPS (Global Payments Solutions) and GTS (Global Trade Solutions) ) in order that line management can ensure that the business is conducted in accordance with all applicable laws, rules, regulations and codes of practice, with specific focus on Regulatory Compliance. To assist and represent the MENAT CMA, Banking, HIF/Sustainability, GPS and GTS RC Head in discharging compliance responsibilities. The responsibilities of the incumbent cover the Banking business in general across the UAE and MENAT Region. The role holder will be responsible for the provision of advice to Business and Assurance teams on regulatory compliance matters, assisting and training business on relevant regulations and compliance policies. The role requires strong partnership with the business, a solid understanding of the Banking business and products (or the broader IB, HIF/Sustainability, GPS and GTS business division) and has responsibility for driving the implementation of policies and regulations ensuring that a conduct and compliance led culture is embedded. The individual must remain up to date on changes in the regulatory environment, industry developments and market events in relation to the business.

Duties & Responsibilites:

• Manage regulatory and reputational risk by providing appropriate Regulatory Compliance coverage and expertise

• Proactively assist management in identifying and managing compliance risk.

• Assist with Group/regulatory reporting and ad-hoc projects as required.

• Ensure roll out of best practice within the HSBC offices in the Middle East region, and support the offices as required.

• Enable business sustainable growth through compliant strategies ensuring initiatives meet regulatory expectations and risk appetite

• Drive implementation and deployment of Global Regulatory Compliance policies, local regulations and transformation programs with business and compliance teams across MENAT region

• Provide clear, concise, consistent, constructive and customer conscious advice and strategic guidance to CMA, Banking, HIF/Sustainability, on compliance matters

• Support Compliance Assurance engagement and interface with the business management meetings and issues assessment assessments

• Oversee FIM implementation where compliance is a risk

• Meet local/regional/group led /regulatory reporting and ad-hoc projects as required.

• Accountable for working with Global Compliance stakeholders on extra-territorial regulations and Global Compliance programs.

• Ensure roll out of best practice within the HSBC offices in the Middle East region, and support the offices as required.
o MENAT Head of Regulatory Compliance
o MENAT Head of CMA, Banking, HIF/Sustainability, GPS and GTS RC Head/s of Banking, CMA , HIF/Sustainability, - to ensure that Compliance services management and business needs as a commercially aware Compliance resource
o Global Compliance teams
o MENAT RC Capabilities, Engagement and Framework teams
o Country Heads of Compliance within MENAT and their teams providing Compliance support to local businesses
o Regulatory Bodies

• Support MENAT Head of CMA, Banking, HIF/Sustainability, GPS and GTS RC by:
o Mentoring and coaching junior members of the team where appropriate
o Fostering a collaborative and healthy working environment within the Compliance function and with stakeholders
o Support team engagement and motivational activities
o Develop in country compliance resource skills by proactive engagement
o Close and positive working relationship with respective businesses
o Coordination with other second line of defense units
o Strong, persuasive personality with highest integrity standards required to cope with challenging business situations.
o Appropriate interpersonal skills to be effectively function as part of an existing stable team.
o Demonstrate core behaviours and values including teamwork, focus, drive and determination.
o Staying abreast of key business developments and any changes to procedures and practices.
o Work collaboratively across peer group and organisation.
o Collaborate and foster good relations with other Compliance teams/ colleagues.
o Advice (New products, services and Regulatory changes)
o Reporting (Breaches, reportable events, regulatory filings and Global reporting)
o Proactive engagement in monitoring regulatory compliance risk issues and resolutions
o Close collaboration with Business Risk and Control teams to ensure RCAs and internal control monitoring plans adequately cover regulatory compliance risks and controls
o Monitor changes to business practices and products as well as regulatory landscape to address RC implications
o Ensure timely and effective escalations are in place with relevant stakeholders
o Present practical and effective recommendations to mitigate business regulatory risk

Requirements

Qualifications & Experiences:

• Graduation degree is REQUIRED- to secure a UAE Visa and Work Permit.

• Demonstrated understanding of CMA, Banking, HIF/Sustainability. GPS and/or GTS products understanding would be an advantage

• Business or Compliance experience strongly preferred.

• Proven analytical skills, together with the ability to support decisions with sound reasoning.

• Proven ability to clearly articulate business and regulatory implications of analysis and findings.

• An understanding of the potential impact of regional and foreign regulatory developments impacting CMA, Banking, HIF/Sustainability, GPS and GTS activity

• Proven strong interpersonal skills with the ability to communicate effectively with both Compliance colleagues and the Business.

• Strong influencing and stakeholder management skills

• At least 8 years of professional experience with ideally 3+ years in Compliance/Regulatory function.

• Knowledge and understanding of DFSA, CBUAE, SCA and regional regulatory requirements.

• Excellent command of written and oral English skills

For further details and application information please visit our careers site, searching under reference number.

HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working, and opportunities to grow within an inclusive and diverse environment.

Personal data held by the Bank relating to employment applications will be used in accordance with our Privacy Statement, which is available on our website.

Issued by The Hong Kong and Shanghai Banking Corporation Limited

Job Title
Legal Counsel - Asset Management & Regulatory Compliance Abu Dhabi
Job Description
Legal Counsel - Asset Management & Regulatory Compliance Abu Dhabi
Position Overview
First Abu Dhabi Bank (FAB) is seeking a Legal Counsel to lead the legal strategy and governance framework for FAB Asset Management. This role is responsible for managing legal affairs, ensuring compliance with UAE and international financial regulations, guiding litigation and dispute resolution, and providing legal advisory support across investment and portfolio management functions.
Job Details
Job Location: Abu Dhabi, UAE
Industry: Banking
Function: Legal
Gender: Any
Candidate Nationality: Any
Job Type: Full-time
What You ll Do
* Develop and execute legal strategies that support FAB Asset Management s business objectives and regulatory obligations
* Ensure fund structures, DPM agreements, and investment documentation meet local and international compliance standards
* Provide legal advisory support across functions including fund management, risk, compliance, and technology
* Collaborate with internal teams to identify and mitigate legal risks across operational and investment activities
* Lead legal reviews and documentation related to disputes, contract enforcement, and regulatory investigations
* Engage with regulatory authorities, both regionally and internationally, to ensure FAB AM's full compliance and representation
* Support and guide litigation and arbitration cases involving asset management matters
* Establish governance policies and legal frameworks to drive operational efficiency and compliance integrity
* Advise senior management and board members on legal implications of key decisions
Ideal Profile
* Minimum 8 years of legal experience, with at least 3 years in asset management or investment banking legal roles
* Expert knowledge of UAE, GCC, and international asset management regulations (DPM, fund structures, cross-border investments)
* Strong experience in litigation management and legal risk assessment
* Excellent cross-functional communication and advisory skills
* Proven ability to lead legal functions and work closely with compliance, finance, and executive teams

Company Industry

• Banking
• Broking

Department / Functional Area

Keywords

• Legal Counsel - Asset Management & Regulatory Compliance

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Job Title: WM, Priority and PBG Compliance Manager

• About the Role:
• The Wealth Management, Priority & Private Banking Compliance Manager is responsible for supporting Retail Banking Priority Banking, Wealth Management Business (WM) and Private Banking (PB) on compliance risk management.
• This role involves providing Financial Crime (FCC) and Regulatory compliance guidance. The WM, Priority & PB Compliance Manager reports directly to the Head of Business Compliance in Group Compliance with a dotted/matrix reporting line to the Business.
• Key Accountabilities:
• • Regulatory Advisory & Market Conduct: Provide advisory support on SCA regulations and other relevant regulations for WM business.
  • Surveillance: Conduct periodic reviews of business-related activities, identifying and highlighting potential regulatory compliance gaps and risks to be addressed.
  • Policies, Products, and Initiatives: Review new investment products from a compliance perspective, including funds and structured products.
  • Regulatory Engagements: Interact with the Securities and Commodities Authority (SCA) on a day-to-day basis, resolve licensing requirements with the regulator.
  • Remediation Guidance: Advise WM business units in formulating remediation action plans for regulatory issues related to compliance.
  • Support in responding to compliance incidents, including investigations, remediation, and reporting.
  • Training and Awareness: Participate in providing ongoing training and development for staff, supporting delivery of training programs tailored to different WM business units.
  • Reporting: Support the development and implementation of comprehensive reporting mechanisms for WM compliance matters.
  • Escalations: Keep the Head of Business Compliance well informed of critical advisories, initiatives, escalations, and issues.
• Shari'ah Compliance:
• Maintain a constructive and effective relationship with the Group Internal Shari'ah Control Department as required.

About You:

You will need strong analytical skills, excellent communication skills and the ability to work well under pressure.